fbpx

Stockbroker Discharged

LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient
LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient 150 150 Rex Securities Law

LPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…

read more
  • ER
  • No Comments

Michael Reither – Former Dominion Investor Broker- Discloses Regulatory Event and Termination -St. Louis, MO
Michael Reither – Former Dominion Investor Broker- Discloses Regulatory Event and Termination -St. Louis, MO 150 150 ER

Michael Reither Investigation September 2022- St. Louis, MO  According to publicly available records,  Michael Earl Reither,  who is not currently registered with any FINRA registered broker dealer , discloses a regulatory event,…

read more

Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX
Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX 150 150 Rex Securities Law

Doug McKelvey Investigation September 2022-Southlake, TX  According to publicly available records Douglas M. McKelvey a former broker who was employed by Morgan Stanley ,  discloses a recent regulatory matter, a prior…

read more

Jorge Sonville- Former Merrill Lynch / Insigneo Securities Broker- Discloses $4M Customer Suit-Miami, FL
Jorge Sonville- Former Merrill Lynch / Insigneo Securities Broker- Discloses $4M Customer Suit-Miami, FL 150 150 Rex Securities Law

Jorge Sonville Investigation September  2022-Miami, FL  According to publicly available records Jorge A. Sonville,  a currently unregistered broker who most recently worked with  Insigneo Services and before that, Merrill Lynch,  discloses a…

read more
  • ER
  • No Comments

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY
Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY 150 150 ER

Joseph Ambrosole Investigation September 2022- New York, NY According to publicly available records,  Joseph Ambrosole a former FINRA registered representative who last worked for Joseph Stone Capital, discloses 5 prior…

read more
  • ER
  • No Comments

Jeff LaBelle- Former First Allied Securities Broker- Discloses 10 Prior Customer Disputes and $1.4M in Pending Customer Disputes-, Sarasota, FL
Jeff LaBelle- Former First Allied Securities Broker- Discloses 10 Prior Customer Disputes and $1.4M in Pending Customer Disputes-, Sarasota, FL 150 150 ER

Jeff LaBelle Investigation August 2022- Sarasota, FL According to available records,  Jeffery (Jeff) Guy LaBelle , a currently unregistered broker who was previously registered  with First Allied Securities, Inc. discloses 13…

read more
  • ER
  • No Comments

Marc Lowell- Former LPL Financial Broker-Discloses Termination- Ft. Lauderdale, FL
Marc Lowell- Former LPL Financial Broker-Discloses Termination- Ft. Lauderdale, FL 150 150 ER

Marc Lowell Investigation September  2022- Ft. Lauderdale, FL The FINRA records of  Marc Layne Lowell,   a  stockbroker previously employed by  LPL Financial and who is currently employed with Alliance Global Partners…

read more

David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC
David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC 150 150 Rex Securities Law

David Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz,  a  former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…

read more

Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA
Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA 150 150 Rex Securities Law

Lynn Cawthorne- Former Cambridge Investment Broker Sentenced for Wire Fraud August 2022-Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker,…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com